owns the account, or has significant interests in the customer’s transactions; (4) “ultimate controlling person of the transactions” means a natural person who ultimately exercises effective control in
. Entrepreneur have been reducing cost in other side such as wages and utilities, by taking measure to temporarily reduce employment and wages. However, price increases are difficult due to decreasing purchasing
administrative expenses has significantly reduced compared to the normal operating range by reducing more than 70 percent during the period of locking down. After the government eased the lock down measure
approximately 90% of all sales. However, in compliance with the government’s order and measure to shut down shopping malls effective since March 22, 2020, the branches in shopping malls are permitted to provide
contract, shareholding, control or management, including any connected person in relation to such person. In this regard, such person may be liable to cause the intermediary to provide services to clients
) Setting • Control: • Same selling rule • Same invested asset (SETTR Index) • Only difference: • Timing • Frequency of buy decisions Selling rule: sell when return reach X% (Buy-and-hold) Average of Top 5
มือทางการเงิน” และ “บทบาทของผู้สอบบัญชีต่อการประเมินความเสี่ยงและตรวจสอบ IT Application Control” โดยมีนายประสัณห์ เชื้อพานิช กรรมการ ก.ล.ต. (ที่ 6 จากขวา) และนายสุพจน์ สิงห์เสน่ห์ ประธานคณะกรรมการ
Bangkok, May 24, 2016 ? The SEC is seeking stakeholders? and public comments on a proposed amendment to the rules governing prevention and control of conflicts of interest of asset management
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope
SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the